Our Staff has compiled our research into a database of FINRA Broker Disclosures for LPL Financial LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Michael David Bennett | 1633152 | 1 | 01/12/2018 | Customer Dispute | Settled | $6,021.00 | $0.00 | See FINRA Report |
| William Weaks Brennan | 4144935 | 2 | 01/11/2018 | Customer Dispute | Settled | $22,978.20 | $0.00 | See FINRA Report |
| Jack Wendell Griffith | 1446978 | 5 | 01/10/2018 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Jack Wendell Griffith | 1446978 | 5 | 01/10/2018 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Thomas C Russell | 2789783 | 1 | 01/03/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Diane Renee Polley | 2204866 | 1 | 12/28/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Michael Jackson | 2439885 | 2 | 12/06/2017 | Customer Dispute | Settled | $16,901.70 | $0.00 | See FINRA Report |
| Robert Scott Ginsberg | 5177531 | 4 | 11/21/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Matthew L Kuhns | 6342279 | 1 | 11/20/2017 | Customer Dispute | Settled | $4,999.00 | $0.00 | See FINRA Report |
| Christopher Michael Davis | 4000883 | 2 | 11/09/2017 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |